Filed November 6, 2007
This is a legacy paper filing. Plan administrator and contact details are recorded in the original filing, which has not been digitised into structured fields.
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| Provider | Service type | Compensation |
|---|---|---|
UBS FINANCIAL SERVICES INC3+ years Filed as: UBS FINANCIAL SERVICES Service code 28 · EIN 13-2636166 | Investment Management | $73,107 |
NEWPORT GROUP, INC.2 years Service code 12 · EIN 27-2037969 | Claims processing; Recordkeeping and ... | $40,589 |
NEWPORT GROUP, INC.1 year Filed as: NEWPORT TRUST COMPANY Service code 12 · EIN 27-4411131 | Account maintenance fees; Custodial (... | $8,841 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
Administrative expenses exceed $300 per participant per year - possible fee-review opportunity. (Recordkeeping / audit / legal; excludes investment management.)
Plan reported corrective distributions (failed ADP/ACP testing).
Auditor declined to express an opinion - usually a 103(a)(3)(C) limited-scope election.
| Metric | This plan | Peer set | Industry | Size |
|---|---|---|---|---|
| Avg account balance | $115,027 | $80,753+42.4% | $136,298-15.6% | $62,293+84.7% |
| Participation rate | 69.5% | 73.5%-4.0pp | 81.9%-12.4pp | 69.5%0pp |
| Annual return | 15.90% | 35.83%-19.9pp | 5156.27%-5140.4pp | 28.90%-13.0pp |
| Employer contribution / active EE | $993 | $2,884-65.6% | $4,696-78.8% | $2,042-51.4% |
| Participant deferral / active EE | $3,675 | $5,164-28.8% | $6,247-41.2% | $3,169+16.0% |
| Admin fee / account holder | $534 | $525+1.6% | $9,244-94.2% | $479+11.3% |